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Did anyone receive a proxy from MXES/MXSV?
Long and dry but refers to NOBO vs OBO and a few other interesting points. Like Beneficial Owner.
General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 14b-1 -- Obligation of Registered Brokers and Dealers in Connection with the Prompt Forwarding of Certain Communications to Beneficial Owners
1. Definitions. Unless the context otherwise requires, all terms used in this section shall have the same meanings as in the Act and, with respect to proxy soliciting material, as in Rule 14a-1 thereunder and, with respect to information statements, as in Rule 14c-1 thereunder. In addition, as used in this section, the term "registrant" means:
1. The issuer of a class of securities registered pursuant to section 12 of the Act; or
2. An investment company registered under the Investment Company Act of 1940.
2. Dissemination and beneficial owner information requirements. A broker or dealer registered under Section 15 of the Act shall comply with the following requirements for disseminating certain communications to beneficial owners and providing beneficial owner information to registrants.
1. The broker or dealer shall respond, by first class mail or other equally prompt means, directly to the registrant no later than seven business days after the date it receives an inquiry made in accordance with Rule 14a-13(a) or Rule 14c-7(a) by indicting, by means of a search card or otherwise:
1. The approximate number of customers of the broker or dealer who are beneficial owners of the registrant's securities that are held of record by the broker, dealer, or its nominee;
2. The number of customers of the broker or dealer who are beneficial owners of the registrant's securities who have objected to disclosure of their names, addresses,and securities positions if the registrant has indicated, pursuant to Rule 14a-13(a)(1)(ii)(A) or Rule 14c-7(a)(1)(ii)(A), that it will distribute the annual report to security holders to beneficial owners of its securities whose names, addresses and securities positions are disclosed pursuant to paragraph (b)(3) of this section; and
3. The identity of the designated agent of the broker or dealer, if any, acting on its behalf in fulfilling its obligations under paragraph (b)(3) of this section; Provided, however, that if the broker or dealer has informed the registrant that a designated office(s) or department(s) is to receive such inquiries, receipt for purposes of paragraph (b)(1) of this section shall mean receipt by such designated office(s) or department(s).
2. The broker or dealer shall, upon receipt of the proxy, other proxy soliciting material, information statement, and/or annual report to security holders from the registrant or other soliciting person, forward such materials to its customers who are beneficial owners of the registrant's securities no later than five business days after receipt of the proxy material, information statement or annual report to security holders.
Note to paragraph (b)(2): At the request of a registrant, or on its own initiative so long as the registrant does not object, a broker or dealer may, but is not required to, deliver one annual report to security holders, proxy statement, information statement, or Notice of Internet Availability of Proxy Materials to more than one beneficial owner sharing an address if the requirements set forth in Rule 240.14a-3(e)(1) (with respect to annual reports to security holders, proxy statements, and Notices of Internet Availability of Proxy Materials) and Rule 240.14c-3(c) (with respect to annual reports to security holders, information statements, and Notices of Internet Availability of Proxy Materials) applicable to registrants, with the exception of Rule 240.14a-3(e)(1)(i)(E), are satisfied instead by the broker or dealer.
3. The broker or dealer shall, through its agent or directly:
1. Provide the registrant, upon the registrant's request, with the names, addresses, and securities positions, compiled as of a date specified in the registrant's request which is no earlier than five business days after the date the registrant's request is received, of its customers who are beneficial owners of the registrant's securities and who have not objected to disclosure of such information; Provided , however, that if the broker or dealer has informed the registrant that a designated office(s) or department(s) is to receive such requests, receipt shall mean receipt by such designated office(s) or department(s); and
2. Transmit the data specified in paragraph (b)(3)(i) of this section to the registrant no later than five business days after the record date or other date specified by the registrant.
Note 1:
Where a broker or dealer employs a designated agent to act on its behalf in performing the obligations imposed on the broker or dealer by paragraph (b)(3) of this section, the five business day time period for determining the date as of which the beneficial owner information is to be compiled is calculated from the date the designated agent receives the registrant's request. In complying with the registrant's request for beneficial owner information under paragraph (b)(3) of this section, a broker or dealer need only supply the registrant with the names, addresses, and securities positions of non-objecting beneficial owners.
Note 2:
If a broker or dealer receives a registrant's request less than five business days before the requested compilation date, it must provide a list compiled as of a date that is no more than five business days after receipt and transmit the list within five business days after the compilation date.
3. Exceptions to dissemination and beneficial owner information requirements. A broker or dealer registered under section 15 of the Act shall be subject to the following with respect to its dissemination and beneficial owner information requirements.
1. With regard to beneficial owners of exempt employee benefit plan securities, the broker or dealer shall:
1. Not include information in its response pursuant to paragraph (b)(1) of this section or forward proxies (or in lieu thereof requests for voting instructions), proxy soliciting material, information statements, or annual reports to security holders pursuant to paragraph (b)(2) of this section to such beneficial owners; and
2. Not include in its response, pursuant to paragraph (b)(3) of this section, data concerning such beneficial owners.
2. A broker or dealer need not satisfy:
1. Its obligations under paragraphs (b)(2) and (b)(3) of this section if a registrant does not provide assurance of reimbursement of the broker's or dealer's reasonable expenses, both direct and indirect, incurred in connection with performing the obligations imposed by paragraphs (b)(2) and (b)(3) of this section; or
2. Its obligation under paragraph (b)(2) of this section to forward annual reports to security holders to non-objecting beneficial owners identified by the broker or dealer, through its agent or directly, pursuant to paragraph (b)(3) of this section if the registrant notifies the broker or dealer pursuant to Rule 240.14a-13(c) or Rule 240.14c-7(c) that the registrant will send the annual report to security holders to such non-objecting beneficial owners identified by the broker or dealer and delivered in a list to the registrant pursuant to paragraph (b)(3) of this section.
3. In its response pursuant to paragraph (b)(1) of this section, a broker or dealer shall not include information about annual report to security holders, proxy statements or information statements that will not be delivered to security holders sharing an address because of the broker or dealer's reliance on the procedures referred to in the Note to paragraph (b)(2) of this section.
4. Compliance with Rule 240.14a-16. If a registrant or other soliciting person informs the broker or dealer that it intends to rely on Rule 240.14a-16 to furnish proxy materials to beneficial owners and provides all of the relevant information listed in Rule 240.14a-16(d) to the broker or dealer, the broker or dealer shall:
1. Prepare and send a Notice of Internet Availability of Proxy Materials containing the information required in paragraph (e) of this section to beneficial owners no later than:
1. With respect to a registrant, 40 calendar days prior to the security holder meeting date or, if no meeting is to be held, 40 calendar days prior to the date the votes, consents, or authorizations may be used to effect the corporate action; and
2. With respect to a soliciting person other than the registrant, the later of:
1. 40 calendar days prior to the security holder meeting date or, if no meeting is to be held, 40 calendar days prior to the date the votes, consents, or authorizations may be used to effect the corporate action; or
2. 10 calendar days after the date that the registrant first sends its proxy statement or Notice of Internet Availability of Proxy Materials to security holders.
2. Establish a Web site at which beneficial owners are able to access the broker or dealer's request for voting instructions and, at the broker or dealer's option, establish a Web site at which beneficial owners are able to access the proxy statement and other soliciting materials, provided that such Web sites are maintained in a manner consistent with paragraphs (b), (c), and (k) of Rule 240.14a-16;
3. Upon receipt of a request from the registrant or other soliciting person, send to security holders specified by the registrant or other soliciting person a copy of the request for voting instructions accompanied by a copy of the intermediary's Notice of Internet Availability of Proxy Materials 10 calendar days or more after the broker or dealer sends its Notice of Internet Availability of Proxy Materials pursuant to paragraph (d)(1); and
4. Upon receipt of a request for a copy of the materials from a beneficial owner:
1. Request a copy of the soliciting materials from the registrant or other soliciting person, in the form requested by the beneficial owner, within three business days after receiving the beneficial owner's request;
2. Forward a copy of the soliciting materials to the beneficial owner, in the form requested by the beneficial owner, within three business days after receiving the materials from the registrant or other soliciting person; and
3. Maintain records of security holder requests to receive a paper or e-mail copy of the proxy materials in connection with future proxy solicitations and provide copies of the proxy materials to a security holder who has made such a request for all securities held in the account of that security holder until the security holder revokes such request.
5. Content of Notice of Internet Availability of Proxy Materials. The broker or dealer's Notice of Internet Availability of Proxy Materials shall:
1. Include all information, as it relates to beneficial owners, required in a registrant's Notice of Internet Availability of Proxy Materials under � 240.14a-16(d), provided that the broker or dealer shall provide its own, or its agent's, toll-free telephone number, an e-mail address, and an Internet Web site to service requests for copies from beneficial owners;
2. Include a brief description, if applicable, of the rules that permit the broker or dealer to vote the securities if the beneficial owner does not return his or her voting instructions; and
3. Otherwise be prepared and sent in a manner consistent with paragraphs (e), (f), and (g) of Rule 240.14a-16.
Regulatory History
57 FR 1099, Jan. 10, 1992; 65 FR 65736, 65751, Nov. 2, 2000; 72 FR 4148, 4170, Jan. 29, 2007
http://www.law.uc.edu/CCL/34ActRls/rule10b-17.html
General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 10b-5 -- Employment of Manipulative and Deceptive Devices
It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange,
1. To employ any device, scheme, or artifice to defraud,
2. To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or
3. To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person,
in connection with the purchase or sale of any security.
General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 10b-17 -- Untimely Announcements of Record Dates
1. It shall constitute a "manipulative or deceptive device or contrivance" as used in Section 10(b) of the Act for any issuer of a class of securities publicly traded by the use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange to fail to give notice in accordance with paragraph (b) hereof of the following actions relating to such class of securities:
1. A dividend or other distribution in cash or in kind, except an ordinary interest payment on a debt security, but including a dividend or distribution of any security of the same or another issuer;
2. A stock split or reverse split; or
3. A rights or other subscription offering.
2. Notice shall be deemed to have been given in accordance with this section only if:
1. Given to the National Association of Securities Dealers, Inc., no later than 10 days prior to the record date involved or, in case of a rights subscription or other offering if such 10 days advance notice is not practical, on or before the record date and in no event later than the effective date of the registration statement to which the offering relates, and such notice includes:
1. Title of the security to which the declaration relates;
2. Date of declaration;
3. Date of record for determining holders entitled to receive the dividend or other distribution or to participate in the stock or reverse split;
4. Date of payment or distribution or, in the case of a stock or reverse split or rights or other subscription offering, the date of delivery;
5. For a dividend or other distribution including a stock or reverse split or rights or other subscription offering:
1. In cash, the amount of cash to be paid or distributed per share, except if exact per share cash distributions cannot be given because of existing conversion rights which may be exercised during the notice period and which may affect the per share cash distribution, then a reasonable approximation of the per share distribution may be provided so long as the actual per share distribution is subsequently provided on the record date,
2. In the same security, the amount of the security outstanding immediately prior to and immediately following the dividend or distribution and the rate of the dividend or distribution,
3. In any other security of the same issuer, the amount to be paid or distributed and the rate of the dividend or distribution,
4. In any security of another issuer, the name of the issuer and title of that security, the amount to be paid or distributed, and the rate of the dividend or distribution and if that security is a right or a warrant, the subscription price,
5. In any other property (including securities not covered under paragraphs (b)(1)(v)(b) through (d) of this section) the identity of the property and its value and basis for assigning that value;
6. Method of settlement of fractional interests;
7. Details of any condition which must be satisfied or Government approval which must be secured to enable payment of distribution; and in
8. The case of stock or reverse split in addition to the aforementioned information;
1. The name and address of the transfer or exchange agent; or
2. The Commission, upon written request or upon its own motion, exempts the issuer from compliance with paragraph (b)(1) of this section either unconditionally or on specified terms or conditions, as not constituting a manipulative or deceptive device or contrivance comprehended within the purpose of this section; or
3. Given in accordance with procedures of the national securities exchange or exchanges upon which a security of such issuer is registered pursuant to Section 12 of the Act which contain requirements substantially comparable to those set forth in paragraph (b)(1) of this section.
3. The provisions of this rule shall not apply, however, to redeemable securities issued by open-end investment companies and unit investment trusts registered with the Commission under the Investment Company Act of 1940.
Haven't found anything referring to retroactive or back dating
filing contents
Are you guys pumpin a little? lol
I'm sorry sir, but you don't even know how to close a case.
This is far from done. There are powers that you obviously
don't comprehend involved here. We will see...
P.S. Would you please get that hideous monkey out of your
siggy?
USNT:
Authorized Shares: 50,583,750
Source: Stock Split ( 02/01/2008 )
Outstanding Shares: 50,583,750
Source: Stock Split ( 02/01/2008 )
Thanks. Servers must be overloading. Ha!
My kinda guy.
Won't proceed on second screen.
I'll reboot later and try again.
Now, about those fee's, gentlemen....?
lol
Congrats!
Not working for me. I'm getting "Done" at that address and then
redirected to Wikki for HTTP?
The other links take me to client login but the info fields are
dead. Won't take info, won't proceed...
Shit! finally in at Burke Cap.
Used link in message #19350
Trying to sign up Ata;
It has these questions:
Manager's Information
Manager's Name
Managed Account Name
Managed Account Currency
Fees Information
No default schedule of fees has been specified,
please contact the manager for further information
??
So what is it I've got to do to give you guys some of
my many millions of dollars of virtual funds?
'Splain to me or refer to a post number.
I will expect a little better treatment than Worn...lol
Got an American Express card? Seems to do the trick for TDA.
Don't own shat and got margin with a $1,000 +/- stock transfer
to open the account.
Got it up and runnin'. No fear hear, just looking for advantage.
Took me a few seconds to catch your stream of thought.
Thanks for the response.
This is by no means a flame thing.
Genuinely curious. Looking for the Best platform
for Me.
I would imagine I can get a call by going through
their website (don't allow IM software on my computers),
but thanks anyway.
If this helps FYI:http://www.nfa.futures.org/basicnet/Details.aspx?entityid=0351580
DaBull seems to be on top of these tings. :)
You an oval racer?
Any P/R from Master Recycling Center Inc.?
I would think there would be...
And I'm not wasting my time looking for one.
Help_Me; Please help me...
I may be missing something here and welcome to all to point this
out but... you've been touting a so-called "platform" designed
by traders for traders (para-phrased), non deal-desk, great spreads, widgets, and gadgets etc. Right?
Now what is the difference between SpotTrader and Interbank
FXTrader 4? The spreads are the same as far as I've watched side by side. Both MetaTrader 4 platform right?
Where's the advantage to me?
Also re: account protection all I see on site is reference to this: Hotspot FXr has insured customer accounts using a Fidelity 14 Bond. They got 5 Mil plus in the bank?
Not trying to break your balls but you've been hyping this
for weeks and I have extremely low tolerance for Hyperbole.
(Must be due to my experience with pennies.)
Anyway, where's the beef?
http://www.hotspotfx.com/main.jsp
http://www.fxcm.com/software-preview.jsp
(edit) P.S. We're both freebies or this would have been PM'd
of course.
Can't crash much from no bid x .0001!
Kinda like fall'in off the floor. :)
.
Swiped from: StockCharts.com Support Forum
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Actually, I believe "panning" is the action of swirling sediments in a lipped pan. Gold being heavier gets centrifuged to the edge bottoms, the lighter material and water goes over the side.
Penson?
It's Penson but yep.
Hi folks;
Just received shares identified as VELIZZ
in a Zecco acct.
Hello Lynne;
Hook up with Siruis and talk.
All shares, upon and after the record date bore the dividend.
Whether bought or sold, there was "Due Bill" attached to each and every share.
On Ex-Date= Ex-dividend date, the Due Bills are disseminated
to the holders at that time.
See SSP's pregnant cat analogy by searching. I've got 500 Kittens!
Best laugh I've had today! Ha!
It's Frankie's 2nd language.
Well, I be danged! I've probably seen that in the past
but I'm old.
Hmmm... I haven't seen any connection between Drage and LGYH
(which I paid dearly for with a forgotten GTC order!) lol
REUTERS ABRIDGED BUSINESS SUMMARY
Matrix Energy Services Corporation does not have significant operations. It seeks possible merger and acquisition opportunities. Previously, the company engaged in the acquisition, development, exploration for, and sale of oil and gas in the state of Texas. Matrix Energy Services was founded in 1979 under the name Imperial Energy Corp. and subsequently changed its name to Funscape Corp. Further, the company changed its name to Oil Retrieval Systems, Inc.; to Titan Energy Corp., Inc.; to Power Exploration, Inc.; and to Matrix Energy Services Corporation in 2002. The company is based in Layton, Utah. Matrix Energy Services Corp. is a subsidiary of Portsmith Partners of Nevada, Inc.
Isn't this funny?
I'll finally be able to write this POS off
as lt loss this year!
I know it's generic but would that hill
happened to be affectionately known as
Mt. MF? lol
Frank Love comments on the property and its location, I like Guyana since it is the only English-speaking country in South America. I was attracted to this property not only because it borders on the Mazaruni River but, more importantly, geological maps indicate that the Mazaruni actually ran through it many years ago. Diamonds should, therefore, be plentiful.
Ain't them there river diamonds the best kind?
What was Franks Famous quote about opportunity and profits?
Post Script: Elcheapo wins the lotto! Post #15480
Hi by the way.
Was a 1-100 r/s, under 100 not effected, selling $2-$4 pre-split.
$1.30 x $3.00 now. Hasn't started playing yet.
Save it for the 5's and up. Not level ground I suppose?
Did you buy CTSO?
It's seems him and the boys, Mark Zouvas & Joe Bill Bennett,
Dumped MXES to creditors ( him being one I believe, Portsmith
the main) and fired up Reostar Energy. Is that your neighbor?
FWD area?
Anyway Pick is doing a great job with Drage and the
Barristerese but the response he got from Drage sounds
a bit Pollyanna to me considering the scope this problem has for MXSV.
Anyway, he couldn't understand why there would be interest in what he described as a shell with no assets. I suggested that there were several opportunities in the market for investors to make money from reverse situations like this, and mentioned Jade Mountain as an example.
I discussed with him the 14C, and how the 9-14-07 date was characterized as a "record" date merely for entitlement of notices, and nothing else, and that my reading of the 14c, both Pre and Def, as well as the 10sbk, led me to the conclusion that the 9-14-07 date was merely for notice, and that the ex-date, 11-23-07 should control.
He said he hadn't looked at it that way, and said he's suggest to Matrix that another attorney look at the question because "reasonable minds may differ", a legal phrase.
From Drages website:
At The Drage Law Firm, we offer experienced legal services covering all aspects of securities law. We can provide strategic advice on business organization and finance and development strategies, prepare all documents and forms and ensure your firm is in ongoing compliance with SEC rules.
Something not quite right.